Nex Systems
Type not stated

Elizabeth Dickerson

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    03/24/2025: From April 2019 to June 2022, UFP and Dickerson failed to establish and maintain a reasonable supervisory system, including written procedures, reasonably designed to supervise the outside brokerage accounts disclosed by its registered representatives pursuant to FINRA Rule 3210. As a result, Respondents violated FINRA Rules 3110 and 2010. Additionally, during the same period, UFP and Dickerson failed to establish and maintain policies and procedures reasonably designed to restrict or limit the information flow between its research department personnel and sales and trading personnel so as to prevent sales and trading department personnel from utilizing non-public advance knowledge of research reports for their benefit...

    Reference 2020065261801finra.orgdata-portal.finra.org

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